Morgan Stanley Smith Barney (NYSE: ALX) lists Rule 144 common-share sales

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 notice reporting proposed sales of Common stock on the NYSE. The filing lists multiple open-market purchase dates and share counts including 200, 100, 50 and smaller lots on various dates.

Insights

Securities Compliance Analyst

Rule 144 notice lists proposed resale activity and historical purchase lots.

The filing is a procedural disclosure under Rule 144 that lists securities intended for resale and prior purchase dates. It records multiple open-market purchase entries and specific share counts tied to dates, which serve as provenance for resale eligibility.

Because the document is informational, immediate investor impact is limited; subsequent transaction filings or broker reports would show actual sales.

Key Figures

Form type: Form 144 Largest lot listed: 200 shares Other notable lots: 100 shares; 50 shares

3 metrics

Form type Form 144 Notice of proposed sale

Largest lot listed 200 shares 08/21/2015 open-market purchase

Other notable lots 100 shares; 50 shares 01/08/2008 and 11/29/2006 open-market purchases

Key Terms

Form 144, Open Market Purchase, Rule 144

3 terms

Form 144 regulatory

"submitted a Form 144 notice reporting proposed sales"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Open Market Purchase market

"08/21/2015 | Open Market Purchase | Open Market"

An open market purchase is when a company buys its own shares on public stock exchanges the same way any investor would, rather than through a private deal. Investors care because these purchases reduce the number of shares available, can boost earnings per share and share price, signal that management thinks the stock is undervalued, and use company cash that might otherwise go to reinvestment or dividends — like a business quietly buying back its own tickets at the box office.

Rule 144 regulatory

"Form 144 notice reporting proposed sales"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	423	112941.34	5107290	06/09/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/21/2015	Open Market Purchase	Open Market			200	08/21/2015	Cash
Common	01/08/2008	Open Market Purchase	Open Market			100	01/08/2008	Cash
Common	11/29/2006	Open Market Purchase	Open Market			50	11/29/2006	Cash
Common	10/06/2014	Open Market Purchase	Open Market			17	10/06/2014	Cash
Common	06/27/2016	Open Market Purchase	Open Market			15	06/27/2016	Cash
Common	10/07/2014	Open Market Purchase	Open Market			7	10/07/2014	Cash
Common	10/08/2014	Open Market Purchase	Open Market			6	10/08/2014	Cash
Common	07/07/2014	Open Market Purchase	Open Market			3	07/07/2014	Cash
Common	06/11/2014	Open Market Purchase	Open Market			9	06/11/2014	Cash
Common	10/02/2014	Open Market Purchase	Open Market			9	10/02/2014	Cash
Common	06/12/2014	Open Market Purchase	Open Market			7	06/12/2014	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed by Morgan Stanley Smith Barney (ALX) report?

The filing reports proposed sales of Common stock on the NYSE and lists prior open-market purchase dates and share counts. It includes specific lots such as 200, 100, and 50 shares tied to purchase dates shown in the excerpt.

Do the listed dates in the filing indicate completed purchases or sales?

The excerpt lists these items as Open Market Purchase entries with dates and share counts, indicating recorded purchase lots. The filing itself presents those lots alongside the proposed resale notice; it does not certify completed resale transactions.

Which exchange is referenced in this Form 144 notice for ALX?

The excerpt explicitly references the NYSE as the market for the Common shares. The filing ties the securities and the proposed sales to the NYSE in the provided lines.

How many shares are shown in the largest lot in the excerpt?

The largest single lot shown in the excerpt is 200 shares, recorded with an 08/21/2015 open-market purchase date in the provided content.